Part of the Jisc event: How compliant is your institution? Meeting RCUK and REF metadata and policy requirements, which took place on on 24 November 2015. More information about the event can be found on the Jisc website: https://www.jisc.ac.uk/events/how-compliant-is-your-institution-24-nov-2015

1. 24 Nov 2015
REF Compliance Checker for EPrints
Tim Miles-Board @drtjmb

2. Who we are
»* Sheridan Brown
› sbrown@keyperspectives.co.uk
»*Tim Miles-Board
› @drtjmb
»* Peter West, Digital Repository Services Ltd
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3. What we are doing
»Working with HEFCE
»Translating OA policy into executable tests that can be
run in EPrints
3 Aug 2015 Jisc Publications Router – Repository Fringe 2015 3

4. What we are not doing
»Reinventing the existing REF plugin for EPrints
› Developed by EPrints Services for REF2014
› Used by several institutions to create and submit REF
return
› Complex workflows and interactions
› Requires resources and coordination
– run infrequently
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5. Aims: Architecture
»Build something lightweight
› separate to REF plugin
› incorporate into day-to-day workflows
»Use data from other plugins / sources
› RIOXX2
› Dates3
› bespoke fields
»Share test results with other plugins
› REF
»Expose test data and decisions for auditing
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6. Aims: Architecture
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RIOXX2
Dates3
day-to-day workflows
REF
Compliance
Checker
Biennial REF exercises
REF

7. Aims: UX
»Provide at-a-glance compliance status for individual records
»Help you understand how a record is being tested
› why it is not compliant
› remedial steps for false negatives
»Enable you to monitor overall compliance
› management reports
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8. Roadmap
»September 2015
› first github commit https://github.com/eprintsug/hefce_oa/
»October 2015
› preview release to EPrints Bazaar
»November 2015
› volunteer organisations invited to install and test
»December 2015
› integrate with RIOXX2 and Dates3
› respond to feedback from testers
»January 2016
› official release to EPrints Bazaar
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9. How it works
»Collect data about record
› manual input
› in response to actions within Eprints
› From other plugins/sources
»Run tests on data
»Store results
› make results available to other plugins eg. REF
»Display stored results
»Run tests and update results whenever record is updated
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10. The tests
»HEFCE policy distilled into 5 executable tests
1. Does record meet basic OA criteria?
2. Did #1 happen within 3m of acceptance?
3. Is record discoverable?
4. Did full text become OA within 1m of #1 / end of embargo?
5. Was embargo length within limits?
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11. #1: Basic OA criteria
»Has the record been submitted?
› record is in Review or Live Archive
»Has the accepted or published version of manuscript been
uploaded?
› record has an attached document with the Content field set to
Accepted or Published
»If record passes both these checks we call it a compliant deposit
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12. #2:Timing of basic OA criteria
»Did the record meet the basic OA criteria within 3m of
acceptance?
»To test this need to know when record first met basic OA criteria
› we call this the Date of First Compliant Deposit
› not the same as date of deposit
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13. #2:Timing of basic OA criteria
»Example timeline
› Researcher creates record in work area
› ... adds metadata
› ... adds accepted version of manuscript
› ... and submits the record for Review
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14. #2:Timing of basic OA criteria
»Example timeline
› Researcher creates record in work area
› ... adds metadata
› ... and submits the record for Review
› Editor reviews metadata
› ... and adds accepted version of manuscript
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15. #2:Timing of basic OA criteria
»Example timeline
› Researcher creates record in work area
› ... adds metadata
› ... and submits the record for Review
› Editor reviews metadata
› ... and makes record live
› Editor returns to record at later stage
› ... and adds published version of manuscript
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16. #2:Timing of basic OA criteria
»Example timeline
› Batch process imports record complete with accepted
version of manuscript directly into Live Archive
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17. #2:Timing of basic OA criteria
»So now we know when, we can test:
»Did the record meet the basic OA criteria within 3m of
acceptance?
› date of FCD < ( acceptance date + 3m )
»Or, for records accepted beforeApril 2017:
»Did the record meet the basic OA criteria within 3m of
publication?
› ( acceptance date < 2017-04-01 )
and
( date of FCD < ( publication date + 3m ) )
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18. #3: Discoverability
»Is record discoverable?
› record is in Live Archive

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19. #4:Timing of full text OA
»Did the manuscript become OA within 1m of the record meeting
the basic OA criteria?
› or within 1m of embargo period ending
»To test this need to know when manuscript became OA
› we call this Date of First Compliant Open Access
› when compliant deposit is made live
› when embargo on compliant deposit is lifted
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20. #4:Timing of full text OA
»Knowing when, we can test:
»Did the manuscript become OA within 1m of the record meeting
the basic OA criteria?
› date of FOA < ( date of FCD + 1m )
»Or for records with an embargo:
› date of FOA < ( date of first online publication + embargo
period + 1m )
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21. #5: Embargo length
»Was the embargo length allowable for the target REF panel?
»To test this we just need to know the embargo length and the
target REF panel
› embargo length < 12m # REF panels A & B
› embargo length < 24m # REF panels C & D
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22. Overall compliance
»To work out the overall compliance result for a record we
combine the results of the 5 tests
› and consider any exceptions that have been raised
»The record is compliant if:
› all 5 tests pass
› or there is a deposit exception
› or there is an access exception and tests 1, 2 & 3 pass
› or there is a technical exception
› or there is some other exception
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23. Demonstration
»Putting it all together..
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24. Links
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»github development
› https://github.com/eprintsug/hefce_oa/
»Documentation
› http://eprintsug.github.io/hefce_oa/